Goldman Sachs Asset Management Compliance, Vice President, Shanghai Goldman Sachs Asset Management Compliance, Vice  …

Goldman Sachs
à Shanghai, 上海市, Chine
CDI, Plein-temps
Dernière candidature, 28 nov. 21
Goldman Sachs
à Shanghai, 上海市, Chine
CDI, Plein-temps
Dernière candidature, 28 nov. 21
Goldman Sachs Asset Management Compliance, Vice President, Shanghai
Goldman Sachs Asset Management is one of the world's leading investment managers. We provide institutional and individual investors with investment and advisory solutions, with strategies spanning asset classes, industries, and geographies. We help our clients navigate today's dynamic markets, and identify the opportunities that shape their portfolios and long-term investment goals. We extend these global capabilities to the world's leading pension plans, sovereign wealth funds, central banks, insurance companies, financial institutions, endowments, foundations, individuals and family offices.

Goldman Sachs has a long term strategic plan in China, as evidenced by the recent announcement of 51% ownership of our local joint venture. As part of the strategic plan to build out our China footprint and franchise, Goldman Sachs Asset Management is pursuing a joint venture with ICBC by combining our expertise in product innovation, portfolio and risk management with ICBC's strong brand recognition and client network. The joint venture will offer investment management advisory services for retail and/or qualified investors in China, via predominantly ICBC's nationwide distribution channels. The joint venture will benefit from strengths from both companies, delivering superior investment solutions to onshore China clients.

As China is opening up its economy and financial markets, the joint venture is at a bright spot in delivering and sharing best practices from global markets, complimenting local expertise in understanding and developing solutions for local investors. As China evolves to become a global player in the economy, it is keen to seek changes in the industry in many ways. The marrying of relative strengths from both company will not only yield great benefit to local investors, but also will drive changes in the overall industry.

Global Compliance

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.


Together with the Chief Compliance Officer of the joint venture with ICBC in Shanghai, the role will interact with PRC regulators, partner with business stakeholders and also work closely with other departments across the organization, such as Legal, Financial Crime Compliance, Operations, Engineering, Internal Audit, etc.

You will be responsible for the following as a member of the local Compliance team:
  • Keep up-to-date with relevant regulatory/rule changes including the implementation of such regulatory/rule changes
  • Assist with regulatory reviews, inspections, investigations or regulatory inquiries
  • Ensure filing of regulatory documents timely and accurately
  • Identify and advise mitigations for regulatory and/or reputational risk issues
  • Assist to develop and maintain compliance policies and procedures, outlining firm policies, regulations and best practices
  • Assist to create Compliance training programs and roll out Compliance trainings
  • Perform Compliance surveillance and other monitoring/investigations, as required by regulation or internal policies and procedures
  • Perform Compliance review on marketing materials or other documents, as required by regulation or internal policies and procedures
  • Handle complaints, maintain proper internal record and report to regulators as required
  • Assist to the review and evaluation of new instruments and vehicles to identify compliance issues and control needs.
  • Assist to advise and coordinate with Technology for control developments/enhancements for new business initiatives
  • Advise business' ad-hoc queries
  • Miscellaneous global projects as required

  • Minimum 5 years of experience in Compliance, Legal or other risk control functions, preferably in asset management.
  • Risk and control focused individual with sound judgment
  • Familiarity with PRC asset management industry
  • Ability to work independently while at the same time be a proactive team player who enjoys working collaboratively
  • Possess effective interpersonal and communication skills, with the ability to resolve issues, build consensus among groups of diverse stakeholders.
  • Have the ability to multi-task and adapt to changes
  • Native level expertise in Mandarin, business level fluency in English
  • Graduate equivalent education


At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow. Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has a number of opportunities to grow professionally and personally, from our training and development opportunities and firmwide networks to benefits, wellness and personal finance offerings and mindfulness programs. Learn more about our culture, benefits, and people at .

We're committed to finding reasonable accommodations for candidates with special needs or disabilities during our recruiting process. Learn more: https://

© The Goldman Sachs Group, Inc., 2021. All rights reserved.
Goldman Sachs is an equal employment/affirmative action employer Female/Minority/Disability/Veteran/Sexual Orientation/Gender Identity

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